FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067603601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: UBS Financial Services Inc. (Respondent) Member Firm CRD No. 8174 Pursuant to FINRA Rule 9216, Respondent UBS Financial Services Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069373501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MMA Securities LLC (Respondent) Member Firm CRD No. 44254 Pursuant to FINRA Rule 9216, Respondent MMA Securities LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.